a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

” means any information or fact materially affect to change in the prices of capital market products which has not yet been disclosed to the general public. Clause 21 An intermediary shall not use trading

account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is

which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like